Ethical Research

Any researcher has a responsibility to take cognisance of the impact that the research may have on participating individuals and the wider communities within which it is conducted. Key to an ethical process is:

  • Informing people about the research;
  • Obtaining appropriate consent from participants;*
  • Protecting participants from harm (this goes beyond consent to considering harms that participants may not be able to anticipate), and
  • Avoiding undue intrusion (through means including keeping research material secure and maintaining privacy and anonymity in the process and in any resulting public outputs).

*obtaining informed consent is not just procedural, it is important to ensure that people are not coerced into participating as a result of existing power structures, that consent is regularly reaffirmed (especially in situations where there is a degree of informality or the researcher role may be unclear) and that participants have the right to withdraw from the process at any time.

Key principles – ESRC Framework for Research Ethics

The following six key principles are outlined in the UK Economic and Social Research Council (ESRC) Framework for Research Ethics

  • Research should aim to maximise benefit for individuals and society and minimise risk and harm;
  • The rights and dignity of individuals and groups should be respected;
  • Wherever possible, participation should be voluntary and appropriately informed,
  • Research should be conducted with integrity and transparency;
  • Lines of responsibility and accountability should be clearly defined; and
  • Independence of research should be maintained and where conflicts of interest cannot be avoided they should be made explicit.

See: https://esrc.ukri.org/funding/guidance-for-applicants/research-ethics/, where they also provide case studies of what these principles look like in practice.

Check within your organisation if there are internal ethical policies and with relevant professional bodies. Depending on your professional affiliation, these may not cover research that is primarily conducted with individuals (as opposed to sites or collections/objects). The Association of Social Anthropologists of the UK and the Commonwealth (ASA) Ethical Guidelines for Good Research Practice provide a comprehensive guide to research with human subjects, available here: https://www.theasa.org/ethics/guidelines.html.

Sample Participant Information SheetDownload
Sample Participant Consent FormDownload
Sample Content Release FormDownload

Data Protection

You will also need to ensure compliance with relevant legal requirements when it comes to gathering and storing (and eventually safely destroying) personal data.

In the UK, at the present time, that means complying with the General Data Protection Regulation (GDPR). The lawful bases for processing data are set out in Article 6 of the GDPR. In most cases social values assessments will be covered under:

  • Legal basis a) conducted with informed consent; and
  • Legal basis e) defined as in the public interest.

The data collected, processed and retained, must be “targeted and proportionate” to the stated purposes. Again, your organisation may already have a GDPR policy and guidance in place. The government guidelines are available here: https://www.gov.uk/government/publications/guide-to-the-general-data-protection-regulation.

Special Category Data

Particular consideration has to be given to gathering information or engaging with people specifically based on what are termed ‘Special Category Data’. The GDPR defines Special Category Data as:

  • racial or ethnic origin;
  • political opinions;
  • religious or philosophical beliefs;
  • trade union membership;
  • genetic data;
  • biometric data (where used for identification purposes);
  • data concerning health;
  • a person’s sex life; or
  • a person’s sexual orientation.

You can only process special category data if you can meet one of the specific conditions in Article 9 of the GDPR, which include explicit consent.

Guidelines regarding children

The GDPR also states that children’s personal data merits specific protection. Only children aged 13 or over are able to give their own consent. For children under this age, consent needs to be provided by the holder of parental responsibility over the child.